AI Compliance for Financial Services
Prospects and clients increasingly ask ChatGPT, Claude, and Gemini for financial advisor and firm recommendations. When AI gets it wrong—wrong registration, wrong firm, or missing disclosures—reputation and regulators are at stake. BiDigest tracks what AI says about you and helps you stay compliant.
Main Regulations
- SEC — Investment Advisers Act; advertising and marketing rules.
- FINRA — Rule 2210 (communications with the public); Rule 2214 (institutional sales material).
- State securities regulators and disclosure requirements.
Sample Non-Compliances
- • AI states wrong registration or credentials.
- • AI attributes advice or affiliation to the wrong firm.
- • Missing or incorrect required disclosures in AI-generated answers.
- • AI cites outdated disciplinary or enforcement information.
- • Performance or guarantee claims that would violate advertising rules.
How We Help
BiDigest tracks what ChatGPT, Gemini, Claude, and Perplexity say about financial advisors and firms. We detect compliance gaps and help you fix how AI represents you—with seed assets and remediation so AI cites you accurately.